DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

B•••••• A•••••••• L••

Former SEC-registered adviserWest Conshohocken, PennsylvaniaCRD 283379SEC 801-107925IAPD
Latest filing Jun 21, 2018
First filing on the tape May 27, 2016 · 7 filings
RAUM
$231M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$231M gross assets
History
7 filings and snapshots on the tape
RAUM$231M as of Mar 28, 2018
Mar 30, 2017$116M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 28, 2018
Mar 30, 20170 then
Employees (5.A)1 as of Mar 28, 2018
Mar 30, 20171 then
Private funds1 as of Mar 28, 2018
Mar 30, 20171 then
RAUM +99% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 21, 2018; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$231MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+99%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$231M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B•••• R•••• C••••••• L•Hedge Fund$231M16Oct 24, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • S••••• B•••••• A•• · President,Cco And Managing Membercontrol
        since 01/2016 · owns 75% or more
      Related persons
      Schedule D 7.A
      • B• S•••• • A•••••••••
        insurancen
      • B•••• R•••• P•••••••• L•• •••••••• A••••••••
        investment adviserpooled vehicle sponsory
      • C• B••••••••• I••
        broker-dealern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $118M to $231M
        Mar 28, 2018 to Jun 21, 2018
      • Custody of client assets · true to false
        Mar 28, 2018 to Jun 21, 2018
      • Charity clients · unset to 0.0
        Sep 28, 2017 to Mar 28, 2018
      • Corporate clients · unset to 0.0
        Sep 28, 2017 to Mar 28, 2018
      • HNW clients · unset to 0.0
        Sep 28, 2017 to Mar 28, 2018
      • Individual clients · unset to 0.0
        Sep 28, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 0.0
        Sep 28, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 1.0
        Sep 28, 2017 to Mar 28, 2018
      • Other offices · unset to 1.0
        Sep 28, 2017 to Mar 28, 2018
      • Discretionary RAUM · $122M to $231M
        Sep 28, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 0.0
        Sep 28, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 0.0
        Sep 28, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 0.0
        Sep 28, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 231120788.0
        Sep 28, 2017 to Mar 28, 2018
      • RAUM · $122M to $231M
        Sep 28, 2017 to Mar 28, 2018
      • Discretionary RAUM · $116M to $122M
        Mar 30, 2017 to Sep 28, 2017
      • RAUM · $116M to $122M
        Mar 30, 2017 to Sep 28, 2017
      • Discretionary RAUM · $118M to $116M
        Oct 24, 2016 to Mar 30, 2017
      • RAUM · $118M to $116M
        Oct 24, 2016 to Mar 30, 2017
      • Accounts · 0 to 1
        Jun 13, 2016 to Oct 24, 2016
      • Assets in custody · unset to 117799679.0
        Jun 13, 2016 to Oct 24, 2016
      • Custody of client assets · false to true
        Jun 13, 2016 to Oct 24, 2016
      • Private funds · unset to 1
        Jun 13, 2016 to Oct 24, 2016
      • Discretionary RAUM · $0 to $118M
        Jun 13, 2016 to Oct 24, 2016
      • RAUM · $0 to $118M
        Jun 13, 2016 to Oct 24, 2016
      • Related adviser · false to true
        Jun 13, 2016 to Oct 24, 2016
      Signals
      2 dated events
      • B•••••• A•••••••• L•• reported RAUM $231.1M, up 89% from $122.2M (2017-09-28 to 2018-03-28)
        Mar 28, 2018 · RAUM change · derived
      • B•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        May 27, 2016 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026